This action is funded by the European Union

Transcription

1 EN This action is funded by the European Union ANNEX 4 of the Commission Decision on the Annual Action Programme 2016 in favour of Intra-ACP cooperation to be financed from the 11 th European Development Fund Action Document for Second Cooperation Phase for the ABS Capacity Development Initiative 1. Title/basic act/ CRIS number 2. Zone benefiting from the action/location 3. Programming document 4. Sector of concentration/ thematic area 5. Amounts concerned 6. Aid modality and implementation modality Second Cooperation Phase for the ABS Capacity Development Initiative CRIS number: ACP/FED/ financed under 11 th European Development Fund (EDF) African, Caribbean, and Pacific (ACP) Group of State The action shall be carried out at the following location: the operations will be executed at national level in selected countries of the ACP Group of States as well as at the regional level Intra-ACP Cooperation 11 th European Development Fund Strategy Paper and Indicative Programme Sector: "Climate change, resilience building and the environment " Sub-sector" Environment" Objective 2.4 "Contribute to the mainstreaming and implementation of Multilateral Environmental Agreements (MEAs) clusters -Biodiversity and Chemicals- Desertification in ACP countries" Total estimated cost: EUR Total amount of EDF contribution: EUR This action is co-financed in joint co-financing by: BMZ 2 for an amount of: EUR This action is co-financed in parallel co-financing by: - BMZ for an amount of EUR AFD for an amount of EUR DANIDA for an amount of EUR NORAD for an amount of EUR OIF for an amount of EUR DEV. Aid: YES 1 Project Modality Indirect management with the Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) GmbH 1 Official Development Aid is administered with the promotion of the economic development and welfare of developing countries as its main objective. 2 The German Federal Ministry for Economic Cooperation and Development [1]

2 7 a) DAC code(s) Environmental policy and administrative management Bio-diversity b) Main Delivery Channel 8. Markers (from CRIS DAC form) 9. Global Public Goods and Challenges (GPGC) thematic flagships 10. Sustainable Development Goals (SDGs) Third Country Government (Delegated co-operation) GIZ General policy objective Not targeted Significant objective Main objective Participation development/good X governance Aid to environment X Gender equality (including X Women In Development) Trade Development X Reproductive, Maternal, New X born and child health RIO Convention markers Not targeted Significant objective Main objective Biological diversity X Combat desertification X Climate change mitigation X Climate change adaptation X B4Life Thematic Flagship Main SDG Goal(s): 2 and 15 Secondary SDG Goal(s): 1, 3 and 8 SUMMARY The foreseen support work in the countries of the ACP Group in the fields of access to genetic resources, access to associated traditional knowledge and the fair and equitable sharing of the benefits arising from their utilisation - Access and Benefit Sharing(ABS) will contribute to economically, ecologically and socially sustainable development through the implementation of the third objective of the Convention of Biological Diversity, specifically its Nagoya Protocol on ABS. Regulatory ABS frameworks and contractual ABS agreements are regarded as possible building blocks for emerging low carbon development strategies as well as supporting studies on The Economics of Ecosystems and Biodiversity (TEEB) where lessons may be drawn from for designing green economy concepts. Furthermore, ABS supports directly and indirectly poverty alleviation, equity, social justice and sound environmental management by contributing to the achievement of the Sustainable Development Goals (SDGs) 2 and 15. National implementation of the Nagoya Protocol indirectly supports the achievement of SDGs 1, 3, 8, 9, 13, 14, 15, 16 and 17. In order to attain the intended results, the initiative will closely accompany at least 10 selected partner countries in the ACP region being at different levels and taking diverse policy approaches in the implementation of the three defined ABS core processes (see graph, point 4.3). This allows less advanced partner countries in Africa (e.g. Benin, DR Congo, the [2]

3 Caribbean and the Pacific to benefit from the learnings of more experienced countries (such as South Africa and Kenya) in setting up their national ABS frameworks and negotiating benefit sharing agreements. The latter set of countries will receive specific support to improve impact and efficiency of their ABS systems and to make footed on sound ABS agreements value chains that are based on genetic resources compliant with the Nagoya protocol requirements. At the same time good practices and lessons learnt of all partner countries will be collected, analysed and disseminated in order to increase ABS implementation capacity in the other countries of the ACP region (i.e. cooperation countries) as well in the respective regional organisations. Regional level support activities include, e.g.: Cooperation with regional institutions to e.g. develop policies, implementation guidelines, issue papers or best practices. Regional workshops and thematic trainings aiming at capacity building, coordination between the countries and harmonising ABS approaches. Regional capacity development activities using existing and to be adapted tools, e.g. targeted communication, multi-stakeholder approaches, MAT negotiation trainings. Establishment of expert and trainer pools at the national and local level. List of Abbreviations ABS access and benefit sharing ACP African, Caribbean and Pacific atk associated traditional knowledge AUC African Union Commission BCP bicultural community protocol BIOPAMA Biodiversity and Protected Areas Management Programme BMZ German Federal Ministry for Economic Cooperation and Development CNA Competent National Authority CBD Convention on Biological Diversity CCS Caribbean Community Secretariat GEF Global Environmental Facility GIZ Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) GmbH GR genetic resource IPLC indigenous peoples and local communities MAT mutually agreed terms NFP National Focal Point PIC prior informed consent SPREP Secretariat for the Pacific Regional Environment Programme UNCTAD United Nations Conference on Trade and Development UNDP United Nations Development Programme UNEP United Nations Environmental Programme [3]

4 1 CONTEXT 1.1 Sector/Country/Regional context/thematic area As its overall goal ABS Capacity Development Initiative supports attaining the third objective of the UN Convention on Biological Diversity (CBD) with respect to access to genetic resources, access to associated traditional knowledge and the fair and equitable sharing of the benefits arising from their utilisation (ABS). To operationalise the third objective developing countries need to transpose the provisions of the Nagoya Protocol on ABS (adopted 2010 / entered into force 2014) into their respective national systems, i.e. setup regulatory frameworks for granting access permits, negotiating ABS agreements with foreign users of genetic resources and associated traditional knowledge and ensuring participation of indigenous and local communities. The ABS Initiative responds to the manifold requests of developing countries: need for technical, legal, conceptual and procedural support to individual countries as well as to (sub-) regional organisations in all African States and the Caribbean and Pacific countries of the ACP Group of States to ratify and implement the Nagoya Protocol on ABS. Thus the Initiative s work directly contributes towards achieving Aichi Biodiversity Target 16, stating that by 2015, the Nagoya Protocol on [ABS] is in force and operational, consistent with national legislation. The ABS Initiative continues to work in its current phase as a multi-donor project with contributions from Germany, Norway, Denmark, France, the EU and the Organisation Internationale de la Francophonie. Activities are based on the Program Document , describing the main fields of work, objectives, indicators and methodologies. The program document was agreed upon by the Initiative s Steering Committee, comprised of current donors (including the EU), appointed ACP stakeholder representatives and the Secretariat of the CBD. The ABS Initiative is hosted by the German Federal Ministry for Economic Cooperation and Development (BMZ) and implemented by the Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) GmbH. The work foreseen under the proposed action will be fully integrated in the existing multi-donor project of the ABS Initiative. The importance of the national implementation of the Nagoya Protocol has been recognised by the respective political regional organisations in the three regions: The African Ministerial Conference on the Environment decided to establish the African Group of Negotiators on Biodiversity and approved the African Union ABS Guidelines on ABS finally endorsed by the AU Executive Council in 2015 and to be implemented by the AU Commission (AUC) which have been developed with the financial and technical support of the ABS Initiative, The AUC signed a Letter of Intent with the ABS Initiative establishing a partnership concerning the implementation of the African Union ABS Guidelines and the Nagoya Protocol in Africa, The Caribbean Community Council for Trade and Economic Development on Environment and Sustainable Development requested the Caribbean Community Secretariat (CCS) to collaborate with the ABS Initiative, encouraged national ratification of the Nagoya Protocol and requested the development of a regional ABS Capacity Building Framework, The Secretariat for the Pacific Regional Environment Programme (SPREP) is liaising with the Secretariat of the Pacific Community and the Pacific Island Forum on relevant aspects of ABS implementation in the region and closely collaborates with the ABS Initiative. The programme of the ABS Initiative is based on following international and regional assessments of baselines, gaps and needs: Gap analysis of the African Model Legislation on the Protection of the Rights of Local Communities, Farmers and Breeders, and for the Regulation of Access to Biological [4]

5 Resources (AUC, 2012) Strategic Framework for Capacity-building and Development to Support the Effective Implementation of the Nagoya Protocol (First Meeting of the Parties to the Nagoya Protocol, 2014) Framework for Nature Conservation and Protected Areas in the Pacific Islands Region (SPREP, 2014) Caribbean Community Access and Benefit-Sharing Capacity Building Framework (CCS, 2016) The concrete activities in the current partner counties are developed based on specific country assessments conducted in In the context of the proposed action, further partner countries will be selected through the established methodology and specific country needs assessments will be conducted Public Policy Assessment and EU Policy Framework ABS is from one side based on permits issued by the proving country for access to their genetic resources and traditional knowledge associated with them, and from the other based on contracts between providers and users of genetic resources. Both should be established under national legal frameworks. The commitment of countries to develop such regulatory frameworks and building or strengthening the necessary institutional capacity is one criterion to be selected as partner country. 7 of the currently 8 African partner countries have appointed National ABS Focal Points, Competent National ABS Authorities and have either developed draft regulatory systems (Benin, Cameroon, Madagascar) or are revising their pre-nagoya ABS systems (Kenya, Namibia, Uganda, South Africa). While value chains based on genetic resources (and associated traditional knowledge) were identified in all 7 countries, the extent to which they are governed by ABS agreements varies strongly between the countries depending on the existence of ABS frameworks but also within a country depending on the ability of authorities to enforce ABS frameworks consistently with all users. On the advice of the Steering Committee, The Democratic Republic of Congo was chosen as partner country which as a member of the Nagoya Protocol still stands at the beginning of developing its ABS framework. Credibility and ownership of the ABS framework are demonstrated by partner countries by developing national ABS work plans with the ABS Initiative and entering into ABS contract negotiations with users. The institutional capacities of the regional partner organisations (AUC, CCS, SPREP) have been evaluated by the ABS Initiative as prerequisite to enter into a collaboration. With the support of this action, it is envisaged to address in a tailor-made manner the capacity needs and the priority areas for support as identified in the individual country assessments in African partner countries. The regional approach will be continued and intensified in the Caribbean and the Pacific, acknowledging the leading role of the regional organisations and considering the still limited funds available for working in the two regions. Because in many cases research and development and subsequent commercialisation of products in sectors such as pharma, cosmetics, biotechnology or functional food takes places based on genetic resources and associated traditional knowledge that has been accessed in another country, the Nagoya Protocol establishes a cross-border compliance system. Parties to the Nagoya Protocol need to monitor compliance of their users (so within their jurisdictions) with the providing country s legislation. The EU ABS Regulation of 2014 sets up such a compliance system for users operating in the EU. It needs to be underlined that the provisions of the EU compliance system are only triggered if the providing country is a Party to the Nagoya Protocol and has adopted ABS legislation. Only then, providing countries can rely on the support of EU compliance system, which means that the legality of access would be checked in the EU. Consequently the competent authorities of the EU member states can fulfil [5]

6 their tasks in a global ABS system only when appropriate ABS legal frameworks are established in the provider countries. The progress of the work of the ABS Initiative is monitored continuously under the internal Monitoring & Evaluation (M&E) system of GIZ according to baselines and milestones agreed with the BMZ and the Steering Committee. M&E reports are due on annual basis Stakeholder analysis Key target groups: Focal points and competent authorities for the implementation of the CBD, the Nagoya Protocol on ABS and the International Treaty on Plant Genetic Resources for Food and Agriculture as well as (sub-)regional organisations responsible for policy coordination, economic cooperation, research collaboration User and traders of genetic resources in the public and private sector including their institutions and professional organisations Indigenous peoples and local communities as owners and custodians of genetic resources and associated traditional knowledge Beneficiaries: Indigenous peoples and local communities as owners and custodians of genetic resources and associated traditional knowledge Local producer cooperatives and/or small and medium enterprises Local research institutes Women as main actors in local seed conservation and breeding as well as suppliers of value chains based on plant materials In each partner country, the capacities and needs of the target groups and beneficiaries will be assessed. While these assessments so far show that capacities of the governmental institutions are at a medium level, the capacities of users and traders as well as the beneficiaries whose participation in the negotiation on ABS agreements is essential is very low in general. The proposed action will address this deficit by establishing ABS pilot activities at local level e.g. increasing awareness and supporting negotiation capacities as well as for users to increase their understanding of the ABS system to foster higher levels of compliance Priority areas for support/problem analysis Based on international and regional gap and needs analyses the activities of the ABS Initiative will be conducted in the context of three core processes: Institutional and regulatory frameworks including roadmaps for ABS implementation at national and (sub-) regional level ABS (model) agreements with public research / private sector users that reflect the respective needs of the providing actors - and enable the development of ABS compliant value chains based on genetic resources Biocultural community protocols or comparable instruments as basis for the negotiation of ABS contracts involving Indigenous Peoples and Local Communities, specifically women and two auxiliary and steering processes Instruments and tools for supporting the various stakeholder groups in implementing ABS Information for the Steering Committee of the ABS Initiative The problem analyses in the context of the country assessments conducted in 2015 showed that three major problems need to be solved: [6]

7 Institutional gaps prevent the integration of ABS systems into existing decision making and permitting systems Lack of transparent and clear access procedures contradict the requirements of the Nagoya Protocol Lack of negotiation capacity at individual level hinder the conclusion of ABS contracts that can effectively bring benefits back to the country Together with the respective national partner organisations, specific activities have been identified as suitable to overcome the existing country specific problems e.g. convening a coordination forum in Kenya to harmonise the institutionally fragmented permitting system, establishing workable access procedures in Benin, supporting communities and their legal representatives in Uganda in concluding an ABS agreement to benefit from the medicinal value chain using Prunus africana bark for drug production in the EU. Similar approaches will be conducted in the partner countries selected under the action proposed here. 2 RISKS AND ASSUMPTIONS Risks Changes of government with a change in priorities concerning the implementation of the Nagoya Protocol High transaction costs for negotiating ABS agreements Risk level (H/M/L) M Mitigating measures Selection of partner countries based on an ex-ante risk assessment taking into account commitment and interest to engage on ABS and implement the Nagoya Protocol at the governmental institutions and stakeholders M Targeted consultation in partner countries with stakeholders and gatekeepers who may be able to positively influence decision making Legitimate representation of those representatives of Indigenous Peoples and Local Communities involved in the development of ABS frameworks or contracts might be challenged by other groups M Establishment of rights-based and agreed procedural rules for the involvement of Indigenous Peoples and Local Communities in ABS processes Assumptions ABS National Focal Points develop ownership for the draft regulatory frameworks and pass them on to the relevant decision makers or decision making bodies Stakeholder and representatives of other sectors are interested in and have the capacities to participate in the formulation of ABS agreements Public research institutions and enterprises in both, user and providing countries can be motivated to participate in ABS mechanisms Providers and users of GR and atk sufficiently trust the national and international ABS process under the Nagoya Protocol that they actually enter into ABS agreements In the current format, risks and mitigation measures can only be characterised at an aggregated programme level that would more or less apply for all partner countries. The selection process of partner countries is based on an ex-ante assessment of following requirements: [7]

8 Achievements regarding regulatory framework, institutional set up and capacity, involvement of indigenous peoples and local communities and ABS cases Demonstrated interest and capacity of the ABS NFP to move the national ABS process towards political decision making and subsequent implementation Potential for new ABS agreements and bioprospecting in general Potential for new agreements based on biocultural community protocols and capacity of indigenous peoples and local communities at the local level Interest of political drivers in the ABS process and political stability The country assessments result in a specific risk analysis that takes into account the concrete situation in the respective country. 3 LESSONS LEARNT, COMPLEMENTARITY AND CROSS-CUTTING ISSUES 3.1 Lessons learnt The work of the ABS Initiative in was evaluated by denkmodell GmbH and the EU Results-oriented Monitoring. In terms of effectiveness, three points were highlighted: The effectiveness of the ABS Initiative is rated as satisfactory, with the stakeholder survey and interviews revealing high appreciation for the effectiveness of the ABS Initiative. The Initiative has achieved substantial progress in establishing a network of key stakeholders both at the national and regional level in the three regions (ACP). The ABS Initiative is the only organization worldwide which has the capacity to support the operationalization of the NP in at the national level financially and technically. The multi-stakeholder methodology has been rated as very useful by participants of the workshops as well as by the regional partner organisations. The activities also included pilot activities on concrete ABS cases as supporting the biocultural community protocol with a traditional healer association in the Bushbuckridge community (ZA), the negotiation of an ABS agreement on rooibos tea between Nestlé and the South African government, and the negotiation of two ABS agreements between a pharmaceutical company and authorities and local communities in Cameroon. As further recommended by the evaluations the new project phase is focussing on the following issues with the aim to increase effectiveness: Further support for national implementation of the Nagoya Protocol and consequences of this on the Initiative s overall strategy and resource allocation to activities. Further support the elaboration of ABS agreements - as a key condition for the development of ABS compliant value chains. Strengthening virtual exchange and learning, particularly for countries with appropriate technological infrastructure. 3.2 Complementarity, synergy and donor coordination Complementarity: The current geographic focus of the work of the ABS Initiative is - due to budget constraints - limited to Africa (African countries, the AUC, and relevant regional organisations). The EU-funded programme will not only allow to better respond to the increasing needs with respect to ABS implementation support in Africa, but also to take up again the regional activities in the Caribbean and the Pacific, that have been started under the BIOPAMA Programme In the context of the work in the ACP countries, the ABS Initiative cooperates closely with the EU-ACP project on implementation of MEAs which operates through the three regional partner organisations AUC, CCS and SPREP. The ABS Initiative is in exchange with most of the GEF-funded ABS capacity development projects as [8]

9 the UNDP global ABS project, the UNEP regional ABS projects for the Caribbean and Central African regions, SPREP and a number of national GEF funded ABS projects in ACP countries. The ABS Initiative advises and collaborates in ABS matters with the UK-funded Darwin Initiative. Furthermore, complementarity is established with German bilateral ABS capacity development activities in Africa e.g. in Cameroon, Democratic Republic of Congo, Madagascar and Namibia. Synergy: Through well-established co-operation with the major implementers of ABS projects and many governments and regional organisations, the realisation of synergies is highly probable. Specific technical trainings developed by the ABS Initiative (e.g. on contract negotiations and developing ABS-compliant value chains) allow for valuable synergies with other projects concentrating on the development of regulatory frameworks. In the field of setting up effective national ABS frameworks, major synergies will be realised with projects supporting the development of (ABS compliant) biotrade value chains e.g. in the context of the bilateral development programmes (Germany, France, EU) or the UNCTAD Biotrade Initiative III. Interfaces with projects supporting protected area conservation and smallholder focussed agricultural value chains will be further explored. Donor coordination: Through its involvement in major fields supporting the implementation of the Nagoya Protocol and its long-standing relationship with the GEF, the European Commission and key bilateral donors, the ABS Initiative is supporting donor coordination in fact in implementing its program for up to five donors, including the EU, and in cooperating with the GEF and its implementing agencies the ABS Initiative itself is a prime example with regard to donor coordination. The ABS Initiative is also member of the Informal Advisory Committee on Capacity Development of the Nagoya Protocol to the Executive Secretary of the CBD. 3.3 Cross-cutting issues Although the Nagoya Protocol is a multilateral environmental agreement under the CBD, the ABS mechanisms are significant for broader development goals such as rights-based approaches, food security and climate change adaptation, and gender equality. While linking ABS to other policy fields it needs to be kept in mind that positive effects will only occur while appropriate legal framework structures are established and through effective ABS contracts and subsequent successful research, development and commercialisation of products based on genetic resources and associated traditional knowledge. Benefit-sharing is unlikely to occur based on a self-executing system. Such successes cannot be predicted but creating a favourable environment for concluding functioning ABS systems and establishment of such contracts will increase the probability for such successes. The activities of the ABS Initiative contribute to gender equality through the effective participation of women in the creation of regulatory frameworks and contract negotiations. The activities support the inclusion of gender-specific contractual clauses for benefit-sharing. The Nagoya Protocol as such promotes a rights-based approach with regard to the execution of the sovereign rights of States to determine over their genetic resources as well as to the rights of indigenous peoples over their genetic resources and associated traditional knowledge enshrined in the UN Declaration of the Rights of Indigenous Peoples. The ABS Initiative will specifically support the implementation of the rights of indigenous peoples when developing national ABS frameworks. In the field of climate change, the ABS mechanism supports the development of climate resilient crops and husbandry using traditional genetic resources through specific contractual clauses. Furthermore, benefit-sharing can be directed towards the conservation and sustainable use of genetic resources relevant for addressing climate change. [9]

10 4 DESCRIPTION OF THE ACTION 4.1 Objectives/results This programme is relevant for the United Nations 2030 Agenda for Sustainable Development. It contributes primarily to the progressive achievement of SDG Goal(s) 2: End hunger, achieve food security and improved nutrition and promote sustainable agriculture (target 5 : "By 2020, maintain the genetic diversity of seeds, cultivated plants and farmed and domesticated animals and their related wild species, including through soundly managed and diversified seed and plant banks at the national, regional and international levels, and promote access to and fair and equitable sharing of benefits arising from the utilization of genetic resources and associated traditional knowledge, as internationally agreed") and 15 : Sustainably manage forests, combat desertification, halt and reverse land degradation, halt biodiversity loss (target 6 : " Promote fair and equitable sharing of the benefits arising from the utilization of genetic resources and promote appropriate access to such resources, as internationally agreed"), but also promotes progress towards Goal(s) 1, 3 and 8. This does not imply a commitment by the countries benefiting from this programme. The objective and results of the current programme of the ABS Initiative have been approved by BMZ and the other donors, the proposed action will contribute to reach them. Objective: Contribute to the third objective of the Convention on Biological Diversity, which is the fair and equitable sharing of the benefits arising from the utilisation of genetic resources, including by appropriate access to genetic resources and by appropriate transfer of relevant technologies, taking into account all rights over those resources and to technologies, and by appropriate funding, supports national sustainable development, the livelihoods of rural people, the conservation of biological diversity and the sustainable use of its components (direct contribution to SDG 2.5 and 15.6, indirect contributions to SDGs 1, 3, 8, 9, 13, 14, 15, 16 and 17). Overall result: Stakeholders in ACP countries (governments, indigenous peoples and local communities, public research organizations, private sector and NGOs) as well as regional and international organisations use the contributions of the ABS Initiative to put into practice access to genetic resources and the fair and equitable sharing of benefits arising from their utilisation. Outputs: Core processes Draft institutional and legal frameworks including roadmaps for ABS implementation at national and (sub-) regional level are developed Draft ABS (model) agreements with users of public and private sectors are developed Biocultural community protocols or comparable instruments as basis for the negotiation of ABS agreements involving indigenous peoples and local communities, specifically women are developed Auxiliary and steering processes Instruments and tools (check lists, manuals, guidelines, etc.) for supporting the various stakeholder groups in implementing ABS are developed Information for the Steering Committee of the ABS Initiative is made available [10]

11 4.2 Main activities Regional level activities: Cooperation with regional institutions to e.g. develop guidelines, issue papers or best practices Regional workshops and thematic trainings aiming at coordination between the countries and harmonising ABS approaches Regional capacity development activities using existing and to be adapted tools, e.g. targeted communication, multi-stakeholder approaches, MAT negotiation trainings Establishment of expert and trainer pools National and local level activities Country level diagnostic of the ABS landscape Assistance in development of a national roadmap and related timeframe/milestones for the development of a national ABS framework and establishment of ABS agreements Continuous technical and procedural advise to governments and key actors (following the national implementation) Capacity development activities using existing and to be adapted tools, e.g. targeted communication, multi-stakeholder approaches, MAT negotiation trainings, legal gap analyses or valorisation strategies Based on the experiences gained during the time of the BIOPAMA Programme , the capacities and needs of the Caribbean and Pacific region with regard to support in the identified priority areas of support are not the same as in African partner countries. Under the proposed action, the ABS Initiative addresses these findings by regionally and country specific adapted implementation packages of the main activities outlined above. Defined actions and services will be undertaken by specialized partners of the ABS Initiative (NGOs, associations, research institutes, etc) bringing in complementing expertise, e.g. on customary rights, market compliance issues, business models, intellectual property aspects, etc. 4.3 Intervention logic The three core processes include activities at the national and, as appropriate, local level. The regional and international level is addressed by activities performed as auxiliary processes supporting regional harmonisation and coordination as well as exchange on and scaling-up of best practices. The steering and guiding processes ensure oversight and possibilities of readjusting the operational plan. This intervention logic has been designed in consultation with the Secretariat of the CBD to support the implementation of the Strategic Framework for Capacity-building and Development to Support the Effective Implementation of the Nagoya Protocol. The intervention logic of the proposed action is depicted in the following graphic: [11]

12 5 IMPLEMENTATION 5.1 Financing agreement In order to implement this action, it is foreseen to conclude a financing agreement with the ACP Secretariat, referred to in Article 17 of Annex IV to the ACP-EU Partnership Agreement. 5.2 Indicative implementation period The indicative operational implementation period of this action, during which the activities described in section 4.2 will be carried out and the corresponding contracts and agreements implemented, is 60 months from the date of entry into force of the financing agreement. Extensions of the implementation period may be agreed by the Commission s authorising officer responsible by amending this decision and the relevant contracts and agreements; such amendments to this decision constitute non-substantial amendment in the sense of Article 9(4) of Regulation (EU) 2015/ Implementation modalities Indirect management with a Member State agency This action may be implemented in indirect management with the Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) GmbH in accordance with Article 58(1)(c) of Regulation (EU, Euratom) 2012/966 applicable in accordance with Article 17 of Regulation (EU) 2015/323. This implementation entails activities on issues of access to genetic resources, access to associated traditional knowledge and the fair and equitable sharing of the benefits arising from their utilisation (access and benefit sharing, ABS). The proposed action plans activities in five priority areas: institutional and regulatory frameworks, ABS agreements, involvement of IPLCs, specifically women in ABS decision making processes, information of stakeholders and relevant regional and international organisations, and instruments and tools [12]

13 supporting the implementation of ABS. This implementation is justified because the ABS Initiative founded in 2006, and implemented by GIZ, is the longest operating initiative in the fields of ABS and the Nagoya Protocol, is networking with all relevant capacity development actors and has accumulated a great amount of experience, knowledge and good reputation on a worldwide scope. During this time, the ABS Initiative accumulated proven logistical and management capacities to successful conduct trainings, workshops and to implement complex projects. The entrusted entity would carry out the following budget-implementation tasks: oriented by the log-frame contained in the Appendix of this document and based on the national ABS road maps of the identified partner countries, the staff of the ABS Initiative will develop yearly work plans and budgets taking into account the available budget based on all donor contributions. The work plans and budgets will be presented to the Steering Committee of the ABS Initiative for approval. The implementation of the approved work plans entails contracting international experts of various fields of expertise (e.g. lawyers and value chain experts), providing grants to partner organisations (e.g. NGOs to engage with indigenous peoples and local communities, think tanks to conduct background studies and analyses, or business associations to reach out users of genetic resources). The ABS Initiative will further conceptualise and organise trainings and workshops at national, regional and international level as well as peer-to-peer experience exchange formats of relevant stakeholders. The Commission authorises the eligibility of costs incurred by the entrusted entity between the signature of the Financing Agreement with the ACP Secretariat and the signature of the delegation agreement with GIZ, because the interruption of support in the Caribbean and the Pacific and the reduced support in Africa since the end of the EU contribution to the ABS Initiative under the BIOPAMA Programme mid-2015 will be shortened by enabling the ABS Initiative to re-engage especially with partners in the Caribbean and Pacific already under the second half of its work plan 04/ / Scope of geographical eligibility for procurement and grants The geographical eligibility in terms of place of establishment for participating in procurement and grant award procedures and in terms of origin of supplies purchased as established in the basic act and set out in the relevant contractual documents shall apply, subject to the following provisions. The Commission s authorising officer responsible may extend the geographical eligibility in accordance with Article 22(1)(b) of Annex IV to the ACP-EU Partnership Agreement on the basis of urgency or of unavailability of products and services in the markets of the countries concerned, or in other duly substantiated cases where the eligibility rules would make the realisation of this action impossible or exceedingly difficult. 5.5 Indicative budget EU contribution (EUR) BMZ contribution (EUR) Indirect management with GIZ Total Indicative parallel donor contributions (EUR) [13]

14 5.6 Organisational set-up and responsibilities All corresponding agreements will be signed by the Commission. The ABS Initiative is hosted by the German Federal Ministry for Economic Cooperation and Development (BMZ) and implemented by the Secretariat of the ABS Initiative, which is commissioned by BMZ to eutsche esellschaft f r Internationale usammenarbeit I mb. Representatives of donors currently the governments of Germany, Denmark, Norway, France, the EU and the Institut de la Francophonie pour le développement durable the Secretariat of the Convention on Biological Diversity and appointed stakeholder representatives are members of three regional Steering Committees (one for Africa, the Caribbean and the Pacific each) which provide strategic guidance to the Secretariat and approval of yearly work plans and budgets. Relevant partner organizations which support attaining the outcomes and objectives of the ABS Initiative as well as stakeholders from the regions are invited as observers to the respective steering committees. The meetings of the steering committee of this action (representatives of ACP Secretariat, the European Commission and the management of the ABS Initiative) should be merged as much as possible with meetings of the Regional Steering Committees of the ABS Initiative to ensure coherent guidance and planning. Regionally overarching matters, such as new memberships as donors to the ABS Initiative or further development of the Programme Document, will be decided by the Joint Steering Committee comprising all members of the regional steering committees. A General Assembly of the Joint Steering Committee and invited observers will meet at least biannually back-to-back with the CBD Conference of the Parties to ensure South-South exchange about ABS implementation under the ABS Capacity Development Initiative and to provide recommendations to the regional steering committees based on lessons learned and best practices developed. 5.7 Performance monitoring and reporting The day-to-day technical and financial monitoring of the implementation of this action will be a continuous process and part of the implementing partner s responsibilities. To this aim, the implementing partner shall establish a permanent internal, technical and financial monitoring system for the action and elaborate regular progress reports (not less than annual) and final reports. Every report shall provide an accurate account of implementation of the action, difficulties encountered, changes introduced, as well as the degree of achievement of its results (outputs and direct outcomes) as measured by corresponding indicators, using as reference the logframe matrix. The report shall be laid out in such a way as to allow monitoring of the means envisaged and employed and of the budget details for the action. The final report, narrative and financial, will cover the entire period of the action implementation. The Commission may undertake additional project monitoring visits both through its own staff and through independent consultants recruited directly by the Commission for independent monitoring reviews (or recruited by the responsible agent contracted by the Commission for implementing such reviews). [14]

15 5.8 Evaluation Having regard to the importance of the action, a mid-term and final evaluation will be carried out for this action or its components via independent consultants via an implementing partner. The mid-term evaluation will be carried out for learning purposes, in particular with respect to the appropriateness of the selected intervention approaches in the different partner countries and options for scaling up of established best practices. Recommendations will highlight the feasibility of launching a phase of the action. The final evaluation will be carried out for accountability and learning purposes at various levels (including for policy revision), taking into account in particular the fact that the ABS Initiative is an innovative approach for donor coordination and has supported the establishment of successful ABS cases in its partner countries. The evaluation reports shall be shared with the partner countries and other key stakeholders. The implementing partner and the Commission shall analyse the conclusions and recommendations of the evaluations and, where appropriate, in agreement with the partner countries, jointly decide on the follow-up actions to be taken and any adjustments necessary, including, if indicated, the reorientation of the project. 5.9 Audit Without prejudice to the obligations applicable to contracts concluded for the implementation of this action, the Commission may, on the basis of a risk assessment, contract independent audits or expenditure verification assignments for one or several contracts or agreements Communication and visibility Communication and visibility of the EU is a legal obligation for all external actions funded by the EU. This action shall contain communication and visibility measures which shall be based on a specific Communication and Visibility Plan of the Action, to be elaborated at the start of implementation and supported with the budget indicated in section 5.5 above. In terms of legal obligations on communication and visibility, the measures shall be implemented by the Commission, the partner country, contractors, grant beneficiaries and/or entrusted entities. Appropriate contractual obligations shall be included in, respectively, the financing agreement, procurement and grant contracts, and delegation agreements. The Communication and Visibility Manual for European Union External Action shall be used to establish the Communication and Visibility Plan of the Action and the appropriate contractual obligations. [15]

16 Overall objective: Impact APPENDIX - INDICATIVE LOGFRAME MATRIX The proposed action will contribute to the multi-donor funded ABS Capacity Development Initiative. The indicative logframe is in line with the logframe which has been agreed upon by the Steering Committee of the ABS Initiative, comprised by all donors of the ABS Capacity Development Initiative and stakeholder representatives. The activities, the expected outputs and all the indicators, targets and baselines included in the logframe matrix are indicative and may be updated b the Steering Committee during the implementation of the action, no amendment being required to the financing decision. When it is not possible to determine the outputs of an action at formulation stage, intermediary outcomes should be presented and the outputs defined during inception of the overall programme and its components. The indicative logframe matrix will evolve during the lifetime of the action: new lines will be added for including the activities as well as new columns for intermediary targets (milestones) for the output and outcome indicators whenever it is relevant for monitoring and reporting purposes. Note also that indicators should be disaggregated by sex whenever relevant. Results chain Indicators Baselines (2016) Targets (2021) Sources means verification and of Assumptions Contribute to the third objective of the Convention on Biological Diversity, which is the fair and equitable sharing of the benefits arising from the utilisation of genetic resources, including by appropriate access to genetic resources and by appropriate transfer of relevant technologies, taking into account all rights over those resources and to technologies, and by appropriate funding, supports national sustainable development, the livelihoods of rural people, the conservation of biological diversity and the sustainable use of its components (direct contribution to SDG 2.5 and 15.6, indirect contributions to SDGs 1, SDG Target 2.5 and 15.6 Tbd. Tbd. UN Statics Divison, country studies and analytics Measurable SDG indicators will be agreed by UNGA. Data will be available through UN Statics Division. [16]

17 Specific objective(s): Outcome(s) 3, 8, 9, 13, 14, 15, 16 and 17). Stakeholders in ACP countries (governments, IPLCs, public research organizations, private sector and NGOs) as well as regional and international organisations use the contributions of the ABS Initiative for operationalising access to genetic resources and the fair and equitable sharing of benefits arising from their utilisation. Indicator 1: Number of countries where ABS National Focal Points have submitted drafts to the relevant decision makers for the institutional and legal framework of ABS at the national level. */** Indicator 2: Number of ABS agreements that have been established between providers and foreign users of genetic resources. */** 1 8 Documents of the drafts, documentation of notification to decision-makers 0 (with the support of the ABS Initiative) 10 Signed ABS agreements and/or permits at ABS-CH Stakeholder and representatives of other sectors show interest in and have capacities for participating in the development of ABSrelevant concepts and agreements. Stakeholder interests are reflected in the formulation of national ABS frameworks thus avoiding criticism by national or international NGOs. Indicator 3: Number of ABS agreements that are based on Biocultural Community Protocols (BCPs) or comparable instruments and explicitly include the participation of women in benefit-sharing. * 0 (with the support of the ABS Initiative) 7 Signed ABS agreements and/or permits at ABS-CH Stakeholder interests are reflected in the formulation of national ABS frameworks thus avoiding criticism by national or international NGOs. 1. Draft institutional and legal frameworks including roadmaps for ABS implementation at 1.1 Number of countries with drafts / concepts for the institutional and 1 8 Draft documents 1.1 ABS-Focal Points develop ownership over the draft documents and [17]

18 national and (sub-) regional level legal ABS framework at national level. submit them the decision makers. 1.2 The drafts/ concepts include feedback from IPLCs as well as other relevant stakeholders, such as private sector representatives and academia. 1 8 Reports of consultation meetings 1.3 Number of countries where concepts for ABS relevant measures are developed in sectors other than the environment sector (e.g. agriculture, forest, marine, IPR, TK) 1 6 Draft document 1.4 Number of (sub-) regional organisations of the ACP Group of States (e.g. CARICOM, SPREP, COMIFAC) where new or updated strategy papers and/or guidelines for a coherent implementation of ABS are approved. 1 5 Draft document [18]

19 1.5 National and (sub-) regional roadmaps for ABS implementation include budget allocations. 1 country & 0 (sub-) region 4 & 2 Budgeted roadmap documents 2. Draft ABS agreements with users of the public research and private sector. 2.1 Number of draft ABS agreements with users from public research and and/or the private sector. 0 (with the support of the ABS Initiative) 10 Draft agreements, reports/notes of negotiations 2.1 Providers and users have developed sufficient trust in the ABS process and eventually sign the mutually agreed terms (MAT). 2.2 Research institutions and private companies can be motivated to participate in ABS mechanisms. 2.3 Transaction costs (fees, bureaucracy, and partner structures) for negotiating ABS agreements and getting access permits are reasonably low not hindering interest of potential users to seek access and negotiate MAT in provider countries. 3. Biocultural Community Protocols (BCPs) or comparable 3.1 Number of IPLCs that have developed 0 (with the support of 6 Documents of BCPs of 3.1 Participation of IPLC representatives in national [19]

20 instruments as basis for the negotiation of ABS agreements involving IPLCs BCPs or similar instruments as basis for the negotiation of ABS agreements. the ABS Initiative) comparable instruments ABS processes is sufficient and motivating the development of BCPs or the negotiation of ABS agreements. 4. Instruments and tools (check lists, manuals, guidelines, policy briefs, fact sheets etc.) for supporting stakeholders in partner and cooperation countries in implementing ABS. 4.1 New instruments and tools are developed by the ABS Initiative, such as ABS Contract Guide, Valorisation Training, Best Practice Compilation, Analytical Studies of ABS Cases, ABS and Forest Landscape Restoration Guide Community Awareness Guide in EN & FR Instruments and tools are available at ABS-CH [20]